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19 Nov 2021, 3:27 am
In a stunning FINRA intra-industry arbitration victory in 2019, a former UBS registered representative was awarded over $11.5 million for Form U5 defamation and attendant harm. [read post]
19 Nov 2021, 3:27 am
Sound of Silence From A FINRA Arbitration That Says Nothing About Anything Despite Awarding $650,000 (BrokeAndBroker.com Blog)Tacoma woman charged with wire fraud for stealing more than $550,000 from friends and acquaintances / Allegedly defrauded those she met online with false claims about illness, need for tuition loans, or help for incarcerated family members (DOJ Release)Chicago Businessman Indicted on Federal Fraud Charges for Allegedly Swindling Customers and Investors Out of… [read post]
Sound of Silence From A FINRA Arbitration That Says Nothing About Anything Despite Awarding $650,000
19 Nov 2021, 3:27 am
All of which brings us to today's featured FINRA Arbitration Award.Case in Point(less)In a FINRA Arbitration Statement of Claim filed in February 2019, associated person Claimant Price asserted defamation; violation of Florida's Unfair and Deceptive Trade Practices Act; and tortious interference with contract. [read post]
19 Nov 2021, 3:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6177/securities-industry-commentator/FINRA Arbitrator Says Customers' Claims Are Baseless in Win for Industry Respondents (BrokeAndBroker.com Blog)Federal Reserve Board announces termination of enforcement action with The Goldman Sachs Group, Inc. and Goldman Sachs & Co. [read post]
19 Nov 2021, 3:27 am
FINRA Arbitrator Says Customers' Claims Are Baseless in Win for Industry Respondents (BrokeAndBroker.com Blog)Federal Reserve Board announces termination of enforcement action with The Goldman Sachs Group, Inc. and Goldman Sachs & Co. [read post]
18 Nov 2021, 5:28 am
As of November 8, 2021, FINRA issued Preliminary Statements for the 2022 IARD Renewal Program. [read post]
17 Nov 2021, 12:32 pm
Gensler said the rules would likely mandate PTFs, also known as high-frequency trading firms, to report their trades to FINRA’s Trade Reporting and Compliance Engine (TRACE). [read post]
17 Nov 2021, 8:31 am
The Financial Industry Regulatory Authority (FINRA). [read post]
17 Nov 2021, 7:17 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
17 Nov 2021, 7:13 am
Continue Reading › The post Aegis Capital To Pay $2.75M For Churning in FINRA Case appeared first on Investor Lawyers Blog. [read post]
16 Nov 2021, 2:15 pm
Malecki invited to speak on FINRA expungement matters, defamation lawsuits, and wrongful terminations relating to employment arbitrations litigated in FINRA’s dispute resolution forum. [read post]
15 Nov 2021, 10:00 pm
FINRA recently filed a proposed rule change with the US Securities and Exchange Commission (SEC) on November 12, 2021 that would seek to once again delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016 . [read post]
15 Nov 2021, 10:00 pm
FINRA recently filed a proposed rule change with the US Securities and Exchange Commission (SEC) on November 12, 2021 that would seek to once again delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016 . [read post]
15 Nov 2021, 10:00 pm
FINRA recently filed a proposed rule change with the US Securities and Exchange Commission (SEC) on November 12, 2021 that would seek to once again delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016 . [read post]
15 Nov 2021, 10:00 pm
FINRA recently filed a proposed rule change with the US Securities and Exchange Commission (SEC) on November 12, 2021 that would seek to once again delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016 . [read post]
15 Nov 2021, 10:00 pm
FINRA recently filed a proposed rule change with the US Securities and Exchange Commission (SEC) on November 12, 2021 that would seek to once again delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016 . [read post]
15 Nov 2021, 10:00 pm
FINRA recently filed a proposed rule change with the US Securities and Exchange Commission (SEC) on November 12, 2021 that would seek to once again delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016 . [read post]
15 Nov 2021, 10:39 am
About McGuireWoods’ Broker-Dealer and Investment Adviser Team Our Broker-Dealer and Investment Adviser team includes members of our nationally-recognized Financial Services Litigation Department, our elite Government Investigations and White Collar Litigation Department, former senior SEC and FINRA enforcement attorneys and litigators, as well as high-level federal prosecutors. [read post]
15 Nov 2021, 10:39 am
About McGuireWoods’ Broker-Dealer and Investment Adviser Team Our Broker-Dealer and Investment Adviser team includes members of our nationally-recognized Financial Services Litigation Department, our elite Government Investigations and White Collar Litigation Department, former senior SEC and FINRA enforcement attorneys and litigators, as well as high-level federal prosecutors. [read post]
15 Nov 2021, 9:05 am
While the lack of a regulatory framework certainly makes it harder to recover fraudulent cryptocurrency losses than for traditional securities, falling victim to a cryptocurrency scam when investing through a broker or large firm regulated by FINRA or the SEC makes it easier. [read post]
